BIOS Fund II, LP's Form 4 filing
IN8BIO, Inc. (INAB) · filed Dec 14, 2023
- Accession no.
- 0001104659-23-125826
- Filed
- Dec 14, 2023, 6:00 AM ET
- Trade date
- Dec 13, 2023
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not checked
This filing lists 3 derivative transactions. It was filed 1 day after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| BIOS Fund II, LPCIK 0001714576 | 10% Owner |
| BIOS Fund II QP, LPCIK 0001716869 | 10% Owner |
| BIOS Fund II NT, LPCIK 0001728851 | 10% Owner |
| BIOS Incysus Co-Invest I, LPCIK 0001740029 | 10% Owner |
| Fletcher Aaron G.L.CIK 0001789490 | 10% Owner |
| BIOS Fund III NT, LPCIK 0001791910 | 10% Owner |
| BIOS Fund III QP, LPCIK 0001791916 | 10% Owner |
| BIOS Fund III, LPCIK 0001791917 | 10% Owner |
| BIOS Advisors GP, LLCCIK 0001813844 | 10% Owner |
| BIOS Capital Management, LPCIK 0001813845 | 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
This filing has no transactions of this kind.
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 13, 2023 | Common Stock | PPurchaseAcquired | +574,241 | –F1 | – | 574,241 | Indirect | |
| Dec 13, 2023 | Common Stock | PPurchaseAcquired | +574,241 | –F1 | – | 574,241 | Indirect | |
| Dec 13, 2023 | Common Stock | PPurchaseAcquired | +574,241 | –F1 | – | 574,241 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
Pursuant to a Securities Purchase Agreement, dated as of December 11, 2023, between In8bio, Inc. (the "Issuer"), Bios Clinical Opportunity Fund, LP ("Bios COF Fund") and the other purchasers signatory thereto, Bios COF Fund purchased from the Issuer in a private placement 574,241 units at a price of $1.22 per unit, each unit consisting of (i) one pre-funded warrant (the "Pre-Funded Warrants") to purchase one share of Common Stock, (ii) one Series A warrant to purchase one share of Common Stock and (iii) one Series B warrant to purchase one share of Common Stock. The Pre-Funded Warrants have an exercise price of $0.0001 per share, will be exercisable immediately and will be exercisable until the Pre-Funded Warrant is exercised in full.
Referenced by the price of 3 transactions in Table II.
Remarks
This Form 4 is the first of three Section 16 filings relating to the same event, including one Form 3 and two Forms 4. The Form 3 is being filed by Bios COF Fund and Bios Equity COF to reflect their admission as members into the "group" (for Section 13 and Section 16 purposes) previously composed of each of the reporting persons included on this Form 4 and other Form 4 relating to the same event filed by Mr. Kreis as the designated filer. The Form 4 has been split into two filings because there are more than 10 reporting persons in total, and the SEC's EDGAR filing system limits a single Form 4 to a maximum of 10 reporting persons.